Portfolio Compliance Manager

  • Competitive
  • Singapore
  • Permanent, Full time
  • Schroder Investment Management (Singapore) Ltd
  • 16 Apr 19

This is a challenging opportunity to join our Portfolio Compliance Team! The role is to assist in the conducting of post trade batch monitoring and ensuring violations are timely detected, communicated and recorded. Besides providing advice to business on investment compliance related matters, the incumbent will help in manual monitoring of investment guidelines that cannot be automated, update of lists, and review of guidelines.

Key Responsibilities:

  • Provide investment compliance advisory services and support the business units including pre trade clearance and background research.
  • Review, interpret and code investment restrictions in Aladdin operating system to ensure compliance with regulatory and/or client-mandated investment guidelines.
  • Review and perform investigation on overnight batch violations in Aladdin for Singapore and Indonesia portfolios and send out notifications to the relevant teams in case of violations. To record genuine violations, follow through till rectification and assist the business in suggesting preventive measures.
  • Develop manual processes to monitor investment restrictions that cannot be automated in Aladdin and conduct regular reviews for these restrictions.
  • Work closely with Investment Teams on restrictions coded in Aladdin and for those that cannot be coded, to stress the importance of pre-trade checks by the desk.
  • Work closely with London counterparts on coding and restrictions monitoring matters.
  • Familiar with regulatory guidelines, eg. UCITS, Code on CIS, CPFIG, and be mindful of the developments in these areas. Work closely with local Compliance teams and London coding team on the rule coding requirements should there be any changes.
  • Participate in projects and working groups relating to new markets, new instruments and new mandate in order to assess the impact on restrictions monitoring.
  • Assist in audit, due diligent visits, client presentation, and inspection matters.
  • Cover other team members when they are out of office.
  • Handle the departmental administrative matters together with the rest of the team.

 

Essential Skills

Understanding and interpretation of investment guidelines; able to conduct meaningful investigation of breaches and communicate well with stakeholders; good time management skills; good interpersonal and communication skills; good knowledge of investment products; have initiative; can work independently as well as in a team.

 

Desirable Skills

Able to understand and/or code Aladdin rules / constraints, able to conduct presentation.